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Tier-1 brand, mid-level experience bracket, and metro location increase applicant competition.
Requires specific investment compliance and regulatory expertise, making cross-industry transfers difficult.
Explicit 2–4 years requirement, mandated investment compliance experience and system knowledge raise shortlisting strictness.
Analyze client investment mandates to extract and interpret compliance restrictions for system rule setup.
Perform compliance monitoring including annual reviews and support ad-hoc queries ensuring portfolio adherence to guidelines.
Liaise with clients and internal teams for accurate compliance rule implementation, risk management, and process improvements.
Bachelor’s or master’s degree in Finance, Accounting, or related field.
2 to 4 years experience in Investment Compliance or Asset Management.
Strong knowledge of investment guidelines (UCITS, ’40 Act, RIA regulations), compliance monitoring systems (Sentinel/CRD preferred), and financial instruments including derivatives.
Work Experience Required: 2–4 years in relevant domain; Notice Period: Not explicitly mentioned in the JD.
Experience interpreting complex regulatory requirements into actionable compliance rules, especially in asset management.
Capability to manage multiple stakeholders including clients, reporting teams, and operational units efficiently.
Demonstrated ownership in compliance monitoring processes, risk identification, and leading process improvement initiatives.